David W. Harris
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Webster Harris was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1976. David had worked at 4 firms and has passed the Series 63, SIE, Series 5, Series 41, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2009 - July 24, 2017
SOURCE CAPITAL GROUP, INC.
April 3, 2001 - November 7, 2001
MERIT CAPITAL ASSOCIATES, INC.
October 13, 1994 - April 24, 2017
SOURCE CAPITAL GROUP, INC.
January 21, 1994 - July 12, 1994
MERIT CAPITAL ASSOCIATES, INC.
April 15, 1991 - February 26, 1992
CIBC WORLD MARKETS CORP.
February 27, 1976 - April 17, 1991
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/16/1981
Interest Rate Options ExaminationSeries 41
Date: 2/10/1975
NYSE Allied Member ExaminationSeries 1
Date: 4/2/1970
Registered Representative ExaminationSeries 40
Date: 8/22/1974
Registered Principal ExaminationCurrent Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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